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Click to view... | Registrant | About | Filings | Files | Relationships | Names | Topics | Web | ||||||||||||||||||||||||||||||
List All Filings | or | ||
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Most-Recent Filing: | ‘SBSE-A/A’ — Amendment to Application for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant that is Registered or Registering with the CFTC as such — Form SBSE-A — | ||
New-Filing E-Mail: |
Latest Filing | Type | Category | Description | Documents | ||||||
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1/31/24 | SBSE-A | Registration: | Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered or Registering with the CFTC as such — Form SBSE-A | 7 | ||||||
3/28/22 | OLD | SBSE-C | Registration: | Certification for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant — Form SBSE-C OLD | 1 | |||||
Additional Exhibits: | ||||||||||
1/31/24 | EX-99 & EX-99.* | Miscellaneous Exhibits, such as Press Releases — | 38 |
Year | # of Filings | |
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2024 | 1 | |
2023 | 4 | |
2022 | 4 |